James Christopher Subject of an Unsuitable Structured Note Dispute

James Christopher (CRD #: 5761273), a broker registered with LPL Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on September 27, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On July 26, 2024, an investor alleged that James Christopher recommended unsuitable structured notes that incurred losses. 

Structured products

Structured products are complex investments that combine a bond and a derivative. Investors’ returns are dependent on the performance of the derivative component—examples of which include forwards, options, and swaps.

The complicated nature of structured products makes them difficult for investors to evaluate.

Unsuitable Investments 

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and financial goals. Investments that do not take these factors into account may be unsuitable. 

Employment Separation After Allegations 

JP Morgan Chase fired James Christopher following allegations that he admitted to affixing his father’s signature to a bank signature card. 

Background Information 

James Christopher has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products/ Variable Contracts Representative Examination 

He is a registered broker in seven states and is a registered investment adviser in Connecticut, New York, and Texas. 

During his 13 years of experience, James Christopher has registered with the following firms: 

• LPL Financial (CRD #: 6413) 
• Financial Resources Group Investment Services (CRD #: 170845) 
• Santander Securities (CRD #: 41791) 
• EJ Sterling (CRD #: 16569) 
• Chase Investment Services Corp. (CRD #: 25574) 

Kurta Law Can Help 

If you worked with James Christopher and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.